Stephen David O'SUllivan

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/1998 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Tulsa, OK
• 03/2010 → Present
  Bank Of America, Na
  Tulsa, OK

Other Businesses

FOR PROFIT ORGANIZATION, PERIDOT PROPERTIES LLC., NON INVESTMENT RELATED. LOCATED TULSA, OK 74113. PROPERTY RENTAL OWNER STARTED 8/6/2012. 5 HOURS DEVOTED MONTHLY AND ZERO DURING SERCURITIES TRADING HOURS. DUTIES INCLUDE DEPOSIT OF MONTHLY RENT, AND CHECK WRITING. I*646245For profit or not for profit: For Profit Name of outside business organization: Dial Hole Properties LLC Investment related: Y Address of business: Tulsa, Oklahoma, 74133 Nature of business: Limited Liability Company Position, title, association: Owner, Start date of relationship: 1/1/2022 Number of hours devoted: 1 hour Monthly Number of hours devoted during trading hours: 0 Duties: LLC to own a rental building. Responsibilities will be collecting and depositing rent and paying general bills I*4775295 Entity Type: For Profit Name of OBA: 252925 LLC Address: Tulsa, Oklahoma, 74133 Investment Related: No Position, Title, Association: Owner Employee Start Date: 06/27/2026 Number of Hours: 1, Yearly Number of Hours during trading: 0 Duties: Purchase of land. Minor land maintenance and payment of taxes I*5052268 Entity Type: Fiduciary role Name of OBA: S. O.II TTEE S. M O. TTEE U/A DTD 12/02/2021 Address: Tulsa, Oklahoma, 74133 Investment Related: No Position, Title, Association: Co-Trustee Employee Start Date: 07/22/2026 Number of Hours: 1, Yearly Number of Hours during trading: 0 Duties: Co-Trustee/Spouse

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-06-23
• S63 Uniform Securities Agent State Law Examination
  1995-06-09

Other Names

• Stephen David Osullivan